Gale and Phillipson Investment Services Ltd

• Principal Place of Business

  107 Cheapside

  London

  EC2V 6DN

  UNITED KINGDOM

  Phone

  +441748825971

  Web

  https://www.you-asset.co.uk

• Complaints Contact

  107 Cheapside

  London

  EC2V 6DN

  UNITED KINGDOM

  Phone

  +441748825971

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• . Gale and Phillipson Holdings Ltd

  IRN XXG01172

  • CF1 Director (AR) (16 Jul 2020 to 30 Jun 2023)
  • SMF3 Executive Director (9 Dec 2019 to 30 Jun 2023)
  • CF1 Director (5 Oct 2018 to 8 Dec 2019)
• Adam David Henderson

  IRN ADH01129

  • CF30 Customer (13 Nov 2017 to 31 Jul 2019)
• Adam Henry Ross

  IRN AHR01032

  • CF30 Customer (18 Oct 2012 to 28 Feb 2014)
• Adam Joseph Galache-Brown

  IRN AJG01213

  • SMF3 Executive Director (9 Dec 2019 to 12 May 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 23 Mar 2020)
  • CF10 Compliance Oversight (22 Dec 2015 to 7 Nov 2016)
  • Responsible for Insurance Mediation (20 Jul 2012 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (11 Jul 2012 to 5 Dec 2012)
  • CF30 Customer (1 Sep 2010 to 8 Dec 2019)
  • CF1 Director (7 Dec 2009 to 8 Dec 2019)
• Alan Nathan Weider

  IRN ANW01041

  • CF30 Customer (27 Mar 2014 to 6 Jul 2015)
• Alan Robert Sneddon

  IRN ARS00023

  • CF1 Director (1 Apr 2015 to 12 Nov 2018)
• Alison Jane Harrison

  IRN AJH01479

  • [FCA CF] Client dealing (3 Mar 2022 to 5 Apr 2024)
  • [FCA CF] Material risk taker (3 Mar 2022 to 5 Apr 2024)
  • [FCA CF] Functions requiring qualifications (3 Mar 2022 to 5 Apr 2024)
• Alison Jayne Eldridge

  IRN AXE00108

  • [FCA CF] Material risk taker (9 Dec 2019 to 15 Aug 2023)
• Andrew Moore

  IRN APM01215

  • SMF3 Executive Director (25 Nov 2022 to 30 Jun 2023)
  • Responsible for Insurance Distribution (25 Nov 2022 to 30 Jun 2023)
• Angelica Carr

  IRN AXC02205

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 25 Aug 2022)
  • CF2 Non Executive Director (7 Apr 2014 to 8 Dec 2019)

• Finli (GPS) Ltd (no longer appointed)

  FRN 703337 · Appointed 29 May 2015 · Until 24 Oct 2024

• Priestgate Financial Planning Ltd (no longer appointed)

  FRN 200441 · Appointed 3 Jun 2005 · Until 1 Aug 2007

No changes recorded yet.